Roald J. Knutson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roald John Knutson was a registered financial professional .
Roald is a previously registered financial professional and started their career in finance in 1969. Roald had worked at 8 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2009 - March 13, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
March 31, 1999 - August 31, 2009
MUTUAL SERVICE CORPORATION
May 5, 1982 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
January 24, 1980 - September 22, 1980
MORISON SECURITIES, INC.
June 9, 1971 - January 7, 1980
1717 CAPITAL MANAGEMENT COMPANY
March 10, 1971 - June 7, 1971
WORLD CAPITAL BROKERAGE, INC.
November 20, 1969 - June 8, 1971
INDUSTRY SAVINGS PLANS, INC.
August 1, 1969 - July 30, 1971
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/18/1968
Registered Representative ExaminationCurrent Firm
FINANCIAL ADVISERS OF AMERICA, LLC
CRD#: 142170 / SEC#: 801-69221, 8-67436
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHNSTON, KENNETH MERLE JR | MANAGING DIRECTOR, PRINCIPAL & CCO | 2437725 |
| SABINS, SCOTT ALAN | MEMBER | 834085 |
| BLAIR, ANTHONY FRANCIS | MEMBER | 1257306 |
| CUNNINGHAM, CRAIG, L | MEMBER | |
| KARG, CAMERON LEE | MEMBER | 264368 |
| LASARZIG, WILLIAM R JR. | MEMBER | 5708816 |
| SABINS, STEVEN WILLIAM | MEMBER | |
| WILSON, RODNEY E S | MEMBER | |
| ADAMS, ROSEMARIE CHIYOKO | MEMBER | 4638793 |
| AHERN, PRISCILLA A | MEMBER | 5720406 |
| AHERN, THOMAS S | MEMBER | 5720404 |
| DENNEY, NICOLETTE IRISA | FINOP | 1090644 |
| HUGHES, MICHAEL LEWIS | MEMBER | 1498127 |
| JOHNSTON, JODI MARIE | MEMBER | 2836464 |
| LUKEHART, DILLON JAMES | MEMBER | 6109420 |
| PELLAND, MICHAEL JOHN | MEMBER | 2845866 |
| PESAVENTO, ROBERT J | MEMBER | 5720397 |
| PESAVENTO, SUSAN J | MEMBER | 5720402 |
| PROUD, EILEEN MARIEL | MEMBER | 1019703 |
| WARNER, DONALD ALAN | MEMBER | 459120 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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